NO.PZ202301190200001103
问题如下:
Which of Peterson’s comments is inconsistent with the Asset Manager Code of Professional Conduct?选项:
A.Comment 1 B.Comment 2 C.Comment 3解释:
根据CFA Institute的《道德规范与专业行为准则》,标准III(B)公平交易,要求所有客户应受到平等对待,特别是在交易分配上。Peterson提到,确保每个客户账户都获得相同数量的股票,尤其是对于表现突出的证券,可能会导致不公平的对待,因为客户的需求和投资规模应该是交易分配的基础,单一的分配方式可能会损害某些客户的利益。
Comment 1: On occasion, we are able to acquire securities we expect will be particularly strong performers, such as oversubscribed initial public offerings. In order to ensure that all clients are treated fairly, each client portfolio is given the same number of shares.
如题,记得上课是说不能给自己先交易,客户之间应该怎么分配交易啊?